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Course Outline

Introduction to ISO 37301 and Compliance Management

  • Overview of ISO 37301 and its objectives.
  • Core principles of compliance: integrity, accountability, transparency.
  • Key differences between ISO 19600 and ISO 37301.

Organizational Context and Leadership

  • Understanding the internal and external context of the organization.
  • Responsibilities of top management and their leadership role.
  • Establishing a compliance policy and setting objectives.

Planning and Support Functions

  • Assessing compliance risks and developing mitigation strategies.
  • Competence, awareness, and communication requirements.
  • Documentation and resource needs for the CMS.

Operational Controls and Compliance Processes

  • Defining operational procedures and assigning responsibilities.
  • Considerations for outsourcing and third-party compliance.
  • Documenting compliance obligations and controls.

Monitoring, Evaluation, and Reporting

  • Measuring compliance performance and utilizing KPIs.
  • Conducting internal audits and compliance assessments.
  • Managing compliance reporting and escalation processes.

Management Review and Continuous Improvement

  • Reviewing system performance and gathering leadership input.
  • Addressing non-compliance and implementing corrective actions.
  • Ensuring ongoing improvement of the CMS.

Certification, Integration, and Future Readiness

  • Steps for ISO 37301 certification and third-party audits.
  • Integration with ISO 37001, ISO 9001, or ISO 27001.
  • Emerging compliance trends and digital governance.

Summary and Next Steps

Requirements

  • A foundational understanding of compliance and risk-related concepts.
  • Familiarity with management system standards.
  • Experience in regulatory, legal, or internal control functions.

Audience

  • Compliance officers and internal control managers.
  • Auditors, legal advisors, and risk professionals.
  • Senior managers and governance leaders focused on ensuring compliance integrity.
 14 Hours

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